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SARAH MARIE SCHMITZ
SARAH MARIE EITEN MISS, SARAH MARIE SCHMITZ MRS.
CRD#: 3138476
IA
B
PRINCIPAL SECURITIES, INC.CRD#: 1137 4600 S SYRACUSE ST
STE 1000
DENVER, CO 80237
STE 1000
DENVER, CO 80237
0
Disclosures
21
Years of Experience
View By:
State Registrations
B
Arizona 10/28/2015
B
New Mexico 10/28/2015
B
California 10/22/2015
B
Ohio 12/9/2021
B
Colorado 9/2/2015
B
Pennsylvania 1/19/2018
IA
Colorado 9/21/2015
B
Texas 10/28/2015
B
Florida 11/18/2021
IA
Texas 6/17/2021
B
Indiana 10/28/2015
B
Utah 5/10/2018
B
Montana 10/28/2015
B
Wyoming 10/28/2015
B
Nevada 3/28/2016
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 9/21/2015
B
Registered with this firm since 9/2/2015
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 06/23/2015 - 09/01/2015 | WESTLAKE, TX | |
IA | 03/01/2013 - 05/12/2015 | DENVER, CO | |
B | 04/01/2013 - 05/12/2015 | DENVER, CO | |
IA | 12/02/2009 - 04/01/2011 | WICHITA, KS | |
B | 12/02/2009 - 04/01/2011 | DENVER, CO | |
IA | 09/24/2008 - 10/30/2008 | DES MOINES, IA | |
B | 02/16/2007 - 10/30/2008 | DES MOINES, IA | |
B | 05/01/2006 - 05/16/2006 | DENVER, CO | |
B | 05/16/2003 - 12/31/2005 | DES MOINES, IA | |
B | 03/07/2001 - 10/16/2002 | ATLANTA, GA | |
B | 10/30/1998 - 03/30/2001 | DES MOINES, IA |
WICHITA, KS
12/02/2009 - 04/01/2011
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.